The New York State Department of Financial Services (NYSDFS) is responsible for regulating all financial services and products in New York.
DTCC NY State Department of Financial Services (“NYS DFS”) 23 NYCRR 500 (the “Regulation”) These terms apply to the processing of Nonpublic Information, as defined in the Regulation, by the Depository Trust & Clearing Corporation, by itself or through any of its subsidiaries, affiliates ...
NYS Department of Financial Services Outlines Requirements for Transaction Monitoring and Filtering Programs of NY State-Licensed InstitutionsReena Agrawal SahniBradley K. SabelTimothy J. ByrneSylvia FavrettoPhilip UrofskyDanforth NewcombStephen Fishbein
On October 16, 2024, the New York Department of Financial Services (DFS) released an important industry guidance letter aimed at addressing the novel, complex cybersecurity risks associated with artificial intelligence (AI).In i...
may be frivolous. Also, such filings may not represent all regulatory or legal actions against a firm or advisor.For more detailed information onDonald Dowd’s conduct, please visit Finra’sBrokerCheck, the SEC’sInvestment Adviser Public Disclosure database, or your state’s regulatory agencies....
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A Professional Limited Liability Company (PLLC) is a type of LLC formed for the purpose of providing “professional services”. In this case, “professional” refers to business types that require special permissions (like a license, registration, or certification from the state) in order to do...
may be frivolous. Also, such filings may not represent all regulatory or legal actions against a firm or advisor.For more detailed information onKjersten Lazar’s conduct, please visit Finra’sBrokerCheck, the SEC’sInvestment Adviser Public Disclosure database, or your state’s regulatory ...
SCHENECTADY – Mayor Gary McCarthy joined Assemblyman Angelo Santabarbara (D-Rotterdam) to announce $500,000 in state funding secured for the Crane Street, Chrisler Avenue, and Main Avenue intersection improvement project.Read on... City of Schenectady Announces Opening of Pools and 2021 Summer You...